Joseph Richard Connolly (Joseph Connolly) Financial Advisor/Broker Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Joseph Richard Connolly (Joseph Connolly) CRD #5896793
Joseph Connolly was a previously licensed financial advisor/broker with Alexander Capital, L.P., First Standard Financial Company LLC, and Joseph Stone Capital LLC. Joseph Connolly was barred from selling securities in Montana in December 2018. According to Joseph Connolly’s BrokerCheck Report, the allegations against Joseph Connolly by the State of Montana include excessive trading, unauthorized trading, unauthorized use of margin, unsuitable recommendations, charging excessive fees, and fraud.
According to Joseph Connolly’s BrokerCheck report, two customer disputes have been filed alleging sales practice violations against Joseph Connolly. One of these customer disputes is pending and seeks $660,000 in damages.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Joseph Connolly and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Joseph Connolly’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Joseph Connolly and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 1/21/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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